Duane Mattson Email & Phone Number
Compliance Lead @ FocusPoint Private Capital Group
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Duane Mattson Location
- Austin, TX, US
Duane Mattson Work
- Compliance Lead @ (August 2022 - Present)
- VP Compliance and Supervision @ (January 2021 - August 2022)
- VP, Senior Compliance Officer @ (October 2018 - October 2020)
- Vice President @ (February 2015 - October 2018)
- Senior Compliance Officer @ (May 2012 - February 2015)
- Chief Compliance Officer @ Al Frank Asset Management | Innealta Capital (March 2010 - May 2012)
- Chief Compliance Officer @ Austin Capital Management (June 2008 - March 2010)
- Chief Supervisory Officer @ NFP Securities (November 2006 - April 2008)
- Manager, Sales Supervision @ NFP Securities (March 2005 - November 2006)
- Sales Supervisor @ NFP Securities (October 2004 - March 2005)
- Personal Financial Advisor @ (March 2004 - October 2004)
- Sales Supervisor @ NFP Securities (June 2003 - March 2004)
- Compliance Specialist @ (January 1998 - January 2003)
Duane Mattson Education
- University of Minnesota
BA (Journalism)
1983-1987 - Warren High School
Duane Mattson Skills
- Portfolio Management
- KYC
- Investments
- Leadership
- Civilcad
- Regulatory Compliance
- Emergency Services
- Operational Risk Management
- MiFID
- Trade Marketing
- Investment Advisor Compliance
- Medical Compliance
- Visual Merchandising
Duane Mattson Summary
- Duane Mattson, based in Austin, TX, US, is currently a Compliance Lead at Capital Group. Duane Mattson brings experience from previous roles at Lion Street, PIMCO and Dimensional Fund Advisors. Duane Mattson holds a 1983 - 1987 BA in Journalism @ University of Minnesota. With a robust skill set that includes Portfolio Management, KYC, Investments, Leadership, Civilcad and more. Duane Mattson has 2 emails and 1 mobile phone numbers on RocketReach.
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